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| Provider | Service type | Compensation |
|---|---|---|
UBS FINANCIAL SERVICES INC3 years Filed as: UBS FINANCIAL SVCS INS AGCY INC Service code 55 1000 HARBOR BLVD 8TH FL · WEEHAWKEN, NJ 07087 | Other Commissions | $6,418 |
Service code 64 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Recordkeeping Fees | $4,012 |
Filed as: EMPOWER RETIREMENT ADVISORY SERVICE Service code 28 8515 EAST ORCHARD ROAD · GREENWOOD VILLAGE, CO 80111 | Investment Management | $412 |
Participation rate is below 70% (account-balance holders / active employees) - enrollment or auto-enroll opportunity.
Annual investment return is in the bottom quintile of the peer cohort.
Plan reported corrective distributions (failed ADP/ACP testing).
Sponsor crossed the 100-balance-holder threshold in the most recent filing - large-plan audit requirement now applies.
Auditor declined to express an opinion - usually a 103(a)(3)(C) limited-scope election.
| Metric | This plan | Peer set | Industry | Size |
|---|---|---|---|---|
| Avg account balance | $16,234 | $45,825-64.6% | $90,655-82.1% | $56,287-71.2% |
| Participation rate | 39.8% | 66.7%-26.9pp | 74.0%-34.2pp | 69.9%-30.0pp |
| Annual return | -14.58% | 38.64%-53.2pp | 1.89%-16.5pp | -9.96%-4.6pp |
| Employer contribution / active EE | $489 | $1,372-64.3% | $2,532-80.7% | $2,111-76.8% |
| Participant deferral / active EE | $1,952 | $2,562-23.8% | $3,425-43.0% | $3,350-41.7% |
| Admin fee / account holder | $42 | $413-89.8% | $4,994-99.2% | $521-91.9% |